Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Walter? Claim Your ProfileWalter Rosenbaum is a financial professional with over 30 years of experience in the industry. Currently, Walter is a Registered Representative at Wells Fargo Clearing Services, LLC. Walter has a strong background in financial services, having previously worked at firms such as PNC Investments, PFS Investments Inc., Scottrade, Inc., Chase Investment Services Corp., The Investment Center, Inc., Rodman & Renshaw Inc., Vanderbilt Securities, Inc., and B C Financial Corporation. Walter has a broad range of experience and holds licenses in Series 7, Series 24, Series 63 and Series 65.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
IL
12/22/2015 - Present
Wells Fargo Clearing Services, LLC (DEERFIELD IL)
IL
05/02/2013 - 02/06/2014
PNC INVESTMENTS (SCHAUMBURG IL)
IL
10/03/2012 - 04/24/2013
PFS INVESTMENTS INC. (DES PLAINES IL)
IL
01/14/2011 - 08/01/2011
SCOTTRADE, INC. (BARRINGTON IL)
IL
06/05/2008 - 01/06/2011
CHASE INVESTMENT SERVICES CORP. (MT. PROSPECT IL)
IL
01/29/1991 - 11/26/2007
THE INVESTMENT CENTER, INC. (BUFFALO GROVE IL)
IL
06/05/1990 - 11/21/1990
RODMAN & RENSHAW INC. (CHICAGO IL)
NA
05/24/1990 - 08/17/1990
VANDERBILT SECURITIES, INC.
NA
05/17/1989 - 05/23/1990
B C FINANCIAL CORPORATION
NA
02/21/1989 - 05/18/1989
ADAMS SECURITIES, INC.
NA
10/31/1988 - 02/23/1989
ALLIED CAPITAL GROUP, INC.
NA
07/28/1988 - 11/03/1988
GRAYSTONE NASH, INC.
NA
05/21/1986 - 08/02/1988
ROYCE PARK INVESTMENTS, INC.
NA
05/17/1986 - 05/27/1986
MARSHALL DAVIS, INC.
NA
08/21/1985 - 05/17/1986
J. W. GANT & ASSOCIATES, INC.
IA
Issued 06/30/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/24/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/05/1992
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/17/1985
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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